Legal Opinion
Securities & Exchange Commission v. Druffner
District Court, D. Massachusetts
Decided August 14, 2007No. Civil Action 03-12154-NMGPublishedCited by 28 opinions
1Opinion of the Court
MEMORANDUM & ORDER
NATHANIEL M. GORTON, District Judge.
This is an SEC enforcement action for violation of 15 U.S.C. § 77q(a), 15 U.S.C. § 78j(b) and 17 C.F.R. § 240.10b-5. Currently pending before the Court is a motion of Plaintiff Securities and Exchange Commission (“the SEC”) for summary judgment with respect to Defendant Justin F. Ficken (“Ficken”), one of the six individuals named in the Complaint. The SEC is seeking disgorgement of ill-gotten gains with pre-judgment interest, a permanent injunction and a civil penalty.
I. Background
A. Factual Background
Ficken was a broker at the Boston…
2Cases cited18 opinions
- Anderson v. Liberty Lobby, Inc.Supreme Court of the United States · 1986
- Celotex Corp. v. Catrett, Administratrix of the Estate of CatrettSupreme Court of the United States · 1986
- Ernst & Ernst v. HochfelderSupreme Court of the United States · 1976
- Baxter v. PalmigianoSupreme Court of the United States · 1976
- Securities and Exchange Commission v. First Jersey Securities, Inc. And Robert E. BrennanCourt of Appeals for the First Circuit · 1996
13 more not listed; retrieve them via the Exa API.
3Cited by28 opinions
- Securities & Exchange Commission v. FickenCourt of Appeals for the First Circuit · 2008
- Securities & Exchange Commission v. TamboneCourt of Appeals for the First Circuit · 2008
- Securities & Exchange Commission v. EspositoDistrict Court, D. Massachusetts · 2017
- Securities & Exchange Commission v. Tropikgadget FZE.District Court, D. Massachusetts · 2015
- Securities & Exchange Commission v. Eagleeye Asset Management, LLCDistrict Court, District of Columbia · 2013
23 more not listed; retrieve them via the Exa API.